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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2009-03-13
  • MD RA
    APPROVED
    Since 2009-03-13

Branch Locations

303 International Circle Suite 370, Hunt Valley, MD 21030 • United States

Parkton, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Rbc Capital Markets Corporation Hunt Valley MD 03/2009 Present
  • 03/2009 → Present
    Rbc Capital Markets Corporation
    Hunt Valley, MD
Previous Registrations
  • 2008-09-09 → 2009-03-13
    Ferris, Baker Watts, Llc
    Hunt Valley, MD
    Baltimore, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-09-08
S63 Uniform Securities Agent State Law Examination 1998-04-28
  • S65 Uniform Investment Adviser Law Examination
    2008-09-08
  • S63 Uniform Securities Agent State Law Examination
    1998-04-28

View on SEC IAPD

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